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All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

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Order

11/15/2018
FAQ
B34. An order is received after the market close and then cancelled prior to market open the next day. What is required to be reported to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B35. Are proprietary orders in OTC equity securities originated in the normal course of market making activity required to be reported to CAT?

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B. Reporting Requirements
11/15/2018
FAQ
B36. How should prices (including fractions) be recorded in CAT?

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B. Reporting Requirements
11/15/2018
FAQ
C3. What is the definition of institution for purposes of the Account Type Code value of "A" Institution?

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C. Definitions
11/15/2018
FAQ
S3. How will CAT ensure the security of the data?

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S. Security
11/15/2018
FAQ
R3. Does the CAT NMS Plan allow Industry Members to continue to write the time on order tickets or are Industry Members required to purchase mechanical time clocks?

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R. Clock Synchronization
11/15/2018
FAQ
R4. When during the day should clocks be synchronized?

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R. Clock Synchronization
11/15/2018
FAQ
P1. How can a CAT Reporter obtain information about its reporting metrics, including linkage statistics?

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P. Feedback and Error Correction
11/15/2018
FAQ
P2. What will happen if order information is submitted for a security that is not CAT reportable?

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P. Feedback and Error Correction
11/15/2018
FAQ
P3. If one record in a file is rejected, will the whole file be rejected?

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P. Feedback and Error Correction

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